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Financial Advisor Engagement Letter

Financial Advisor Engagement Letter Template for Hong Kong

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Key Requirements PROMPT example:

Financial Advisor Engagement Letter

"I need a Financial Advisor Engagement Letter under Hong Kong law for our boutique advisory firm to provide corporate finance and M&A advisory services to a technology startup, with special attention to cross-border transactions with mainland China and specific provisions for success fees."

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Document background
The Financial Advisor Engagement Letter is a crucial document used when establishing a professional relationship between a licensed financial advisor and a client in Hong Kong. This document is essential for compliance with Hong Kong Securities and Futures Commission (SFC) requirements and typically comes into play when clients seek professional financial advisory services, whether for investment management, corporate finance, or strategic financial planning. The letter outlines key aspects including scope of services, fee structures, regulatory disclosures, confidentiality obligations, and liability provisions. It serves as both a regulatory requirement and a protective mechanism for all parties involved, ensuring clear communication of expectations and responsibilities while maintaining compliance with Hong Kong's robust financial services regulatory framework.
Suggested Sections

1. Letter Header: Formal business letter header including date, recipient details, and reference number

2. Introduction: Opening paragraph identifying the client and confirming the engagement

3. Scope of Services: Detailed description of the financial advisory services to be provided

4. Team and Key Personnel: Introduction of key team members who will provide the services

5. Fees and Payment Terms: Detailed fee structure, payment schedule, and expenses policy

6. Duration and Termination: Term of engagement and conditions for termination

7. Confidentiality: Obligations regarding confidential information and data protection

8. Regulatory Disclosures: Required SFC disclosures and regulatory statements

9. Liability and Indemnification: Limitations of liability and indemnification provisions

10. Governing Law: Confirmation of Hong Kong law governing the engagement

11. Signature Blocks: Execution sections for both parties

Optional Sections

1. Investment Restrictions: Specific investment restrictions or guidelines, required when providing investment advisory services

2. Performance Reporting: Details of reporting frequency and format, needed for ongoing advisory relationships

3. Conflict of Interest Disclosure: Detailed disclosure of potential conflicts, required when advisor has multiple roles or relationships

4. ESG Considerations: Environmental, Social, and Governance considerations, included when relevant to the advisory scope

5. Cross-Border Services: Additional provisions for cross-border advisory services, needed when serving clients in multiple jurisdictions

Suggested Schedules

1. Schedule A - Fee Schedule: Detailed breakdown of all fees, charges, and commission structures

2. Schedule B - Scope of Services: Comprehensive list of specific services and deliverables

3. Schedule C - Key Personnel: Detailed profiles of key team members and their qualifications

4. Appendix 1 - Risk Disclosure Statement: Standard risk disclosures required by SFC regulations

5. Appendix 2 - Client Profile: Client information and investment profile documentation

6. Appendix 3 - Regulatory Licenses: Copies of relevant regulatory licenses and registrations

Authors

Alex Denne

Head of Growth (Open Source Law) @ tiktok³ÉÈË°æ | 3 x UCL-Certified in Contract Law & Drafting | 4+ Years Managing 1M+ Legal Documents | Serial Founder & Legal AI Author

alex.den.21@genieai.co
Relevant legal definitions











































Clauses






























Relevant Industries

Financial Services

Banking

Investment Management

Private Equity

Venture Capital

Corporate Finance

Wealth Management

Insurance

Real Estate

Technology

Healthcare

Manufacturing

Retail

Energy

Infrastructure

Relevant Teams

Legal

Compliance

Risk Management

Investment Advisory

Wealth Management

Corporate Finance

Client Relations

Operations

Finance

Executive Management

Relevant Roles

Financial Advisor

Investment Consultant

Wealth Manager

Portfolio Manager

Chief Investment Officer

Financial Planning Director

Investment Strategist

Client Relationship Manager

Compliance Officer

Legal Counsel

Risk Manager

Managing Director

Executive Director

Vice President - Advisory Services

Senior Financial Analyst

Industries








Teams

Employer, Employee, Start Date, Job Title, Department, Location, Probationary Period, Notice Period, Salary, Overtime, Vacation Pay, Statutory Holidays, Benefits, Bonus, Expenses, Working Hours, Rest Breaks,  Leaves of Absence, Confidentiality, Intellectual Property, Non-Solicitation, Non-Competition, Code of Conduct, Termination,  Severance Pay, Governing Law, Entire Agreemen

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